DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
N••••• V•••• I••••••••
Legal name N••••• V•••• I•••••••• K•
Latest filing Jul 23, 2026
First filing on the tape Mar 29, 2012 · 43 filings
SEC status approved since Jun 22, 2006
RAUM
$591M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$591M as of Jul 23, 2026
Jul 26, 2012$679M then
HNW client RAUM$0 as of Jul 23, 2026
Jun 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jul 23, 2026
Jul 26, 20120 then
Employees (5.A)13 as of Jul 23, 2026
Jul 29, 201311 then
Private funds1 as of Jul 23, 2026
Jul 26, 20121 then
RAUM -39% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $197MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$453M77%
- Corporations and businesses$139M23%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.77 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• N••••• V•••• I•••••••• J••••••• E••••• T•••• | Other Private Fund | $154M | 16 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- I••• Y•••••••• · Shareholder, Chairman, Chief Investment Officer, Directorcontrolsince 12/2005 · owns 25% to 50%
- K••••••••• S••••• · Shareholder, Director Of Researchcontrolsince 02/2006 · owns 10% to 25%
- K•••••• H••••••• · Shareholder, Senior Portfolio Manager, Directorcontrolsince 06/2008 · owns 10% to 25%
- N••••••• T•••••• · Shareholder, Chief Compliance Officercontrolsince 11/2023 · owns 5% to 10%
- T•••••• S••••••• · Shareholder, Chief Operating Officer, Directorcontrolsince 05/2019 · owns less than 5%
- B•••• S••••••• C•••••• · Chairman And Directorcontrolsince 04/1995 · owns 50% to 75% of S••••••••• P••••••• L••••••
- C•••••••• L•••• A••• · Non-Executive Directorsince 05/2018 · owns less than 5%
Entity owners
- S••••••••• P••••••• L•••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• I••••••••• I••••••••investment adviserbankpooled vehicle sponsornRAUM $39B
Advisers that list N••••• V•••• I•••••••• as a related person
- 110987 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 3Apr 30, 2026 to Jul 23, 2026
- Advisory employees · 5 to 6Apr 30, 2026 to Jul 23, 2026
- Advisory activities · 4 to 3Apr 30, 2026 to Jul 23, 2026
- Corporate clients · unset to 1.0Apr 30, 2026 to Jul 23, 2026
- Employees · 15 to 13Apr 30, 2026 to Jul 23, 2026
- Discretionary RAUM · $899M to $591MApr 30, 2026 to Jul 23, 2026
- Pooled vehicle RAUM · $305M to $453MApr 30, 2026 to Jul 23, 2026
- RAUM · $899M to $591MApr 30, 2026 to Jul 23, 2026
- Advisory employees · 6 to 5Aug 6, 2024 to Jun 5, 2025
- Financial planning clients · unset to Aug 6, 2024 to Jun 5, 2025
- HQ state · unset to Aug 6, 2024 to Jun 5, 2025
- Discretionary RAUM · $966M to $899MAug 6, 2024 to Jun 5, 2025
- Pooled vehicle RAUM · $313M to $305MAug 6, 2024 to Jun 5, 2025
- RAUM · $966M to $899MAug 6, 2024 to Jun 5, 2025
- Accounts · 5 to 4Jan 15, 2024 to Jul 26, 2024
- Pooled vehicle clients · 3 to 2Jan 15, 2024 to Jul 26, 2024
- Employees · 16 to 15Jan 15, 2024 to Jul 26, 2024
- Discretionary RAUM · $1.2B to $966MJan 15, 2024 to Jul 26, 2024
- Pooled vehicle RAUM · $629M to $313MJan 15, 2024 to Jul 26, 2024
- RAUM · $1.2B to $966MJan 15, 2024 to Jul 26, 2024
- Advisory employees · 5 to 6May 31, 2022 to Jul 31, 2023
- Employees · 14 to 16May 31, 2022 to Jul 31, 2023
- Discretionary RAUM · $1.1B to $1.2BMay 31, 2022 to Jul 31, 2023
- Pooled vehicle RAUM · $659M to $629MMay 31, 2022 to Jul 31, 2023
- RAUM · $1.1B to $1.2BMay 31, 2022 to Jul 31, 2023
- Discretionary RAUM · $1.3B to $1.1BSep 21, 2021 to May 31, 2022
- Pooled vehicle RAUM · $800M to $659MSep 21, 2021 to May 31, 2022
- RAUM · $1.3B to $1.1BSep 21, 2021 to May 31, 2022
- Advisory employees · 6 to 5Sep 16, 2020 to Jul 29, 2021
- Employees · 15 to 14Sep 16, 2020 to Jul 29, 2021
- Discretionary RAUM · $1.4B to $1.3BSep 16, 2020 to Jul 29, 2021
- Pooled vehicle RAUM · $1.0B to $800MSep 16, 2020 to Jul 29, 2021
- RAUM · $1.4B to $1.3BSep 16, 2020 to Jul 29, 2021
- Employees · 14 to 15Mar 2, 2020 to Jun 26, 2020
- Discretionary RAUM · $1.7B to $1.4BMar 2, 2020 to Jun 26, 2020
- Pooled vehicle RAUM · $1.2B to $1.0BMar 2, 2020 to Jun 26, 2020
- RAUM · $1.7B to $1.4BMar 2, 2020 to Jun 26, 2020
- Discretionary RAUM · $1.7B to $1.7BJun 28, 2019 to Aug 22, 2019
- Pooled vehicle RAUM · $1.2B to $1.2BJun 28, 2019 to Aug 22, 2019
- RAUM · $1.7B to $1.7BJun 28, 2019 to Aug 22, 2019
Signals
6 dated events
- N••••• V•••• I•••••••• reported RAUM $591.3M, down 34% from $898.5M (2026-04-30 to 2026-07-23)Jul 23, 2026 · RAUM change · derived
- M•••••••• G•••• (Shareholder Co-Chief Compliance Officer And Chief Legal Officer) no longer on Schedule A of N••••• V•••• I•••••••• (listed 2024-01-15, absent 2024-07-26)Jul 26, 2024 · Control person left · inference
- Yasumasa Ono (Shareholder) no longer on Schedule A of N••••• V•••• I•••••••• (listed 2020-06-26, absent 2020-09-16)Sep 16, 2020 · Control person left · inference
- M•••••••• G•••• (Chief Legal Officer) appeared on Schedule A of N••••• V•••• I••••••••Sep 16, 2020 · Control person joined · fact
- Shinichi Tanaka (Share Holder, Director) appeared on Schedule A of N••••• V•••• I••••••••Jun 28, 2019 · Control person joined · fact
- N••••• V•••• I•••••••• reported RAUM $1.7B, up 40% from $1.2B (2018-03-07 to 2018-06-29)Jun 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- N•••••-V••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 011-813-6692-5992reportedpublic record, Form ADV, Jul 23, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026